About the job
As the Head of Operations & Settlement, you will be responsible for the operations of a motivated and proficient team, in terms of corporate action, settlements in a trading brokerage environment.
You will lead a talented team of professionals to develop and execute operational outcomes, work with regulatory bodies to represent the company, and be the subject matter expert.
Key Responsibilities:
- Transaction Mastery & Oversight: Lead the end-to-end daily settlement process, ensuring all trades and corporate actions (dividends, splits, etc.) are executed with precision. You will act as the final checkpoint, validating the work of Settlement Officers to maintain absolute accuracy.
- Compliance & Risk Governance: Direct the onboarding integrity process by conducting deep-dive screenings (KYC, AML, PEP, and World-Check). You will be the primary guardian of our regulatory standing, preparing essential regulatory filings.
- Strategic Problem Solving: Proactively identify settlement breaks or exceptions. You will investigate discrepancies, manage operational risks, and escalate critical incidents to ensure seamless business continuity.
- Cross-Functional Collaboration: Partner with IT, Risk, and Finance teams to test and launch new financial products. You’ll be instrumental in refining workflows and internal controls to keep our “startup” agile yet compliant.
- Team Mentorship & Liaison: Serve as a technical resource and mentor for junior staff. Additionally, you will manage external relationships with vendors and counterparties to resolve complex settlement issues.
- Audit Readiness: Maintain impeccable records and reconciliation trails, ensuring the firm is always prepared for internal reviews or formal regulatory inspections.
Ideal Candidate:
- At least 5 years proven track record of success in an operations leadership role within the financial services industry, preferably in capital markets/brokerages/investment platforms.
- Communication skills to work with local & overseas leaders & stakeholders.
- Strong local Thai financial services & regulatory experience.
We regret to inform you that only shortlisted candidates will be contacted.
Ready for a new role? Drop us a line info@salientgroup.com.au
